Securities Law and Going Public Blog

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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.

Latest Blog Posts

The SEC’s Inspector General Calls for Overhaul of CorpFin’s Disclosure Review Process

The U.S. Securities and Exchange Commission’s Office of Inspector General (OIG) has released a critical audit evaluating how the Division of Corporation…

Texas Stock Exchange Nears Launch After SEC Approval — A New Challenger to NYSE and Nasdaq

Published: October 6, 2025 In a landmark decision that could alter the balance of power in U.S. capital markets, the Texas Stock…

What Happens at the SEC During a Government Shutdown?

In its “Operations Plan Under a Lapse in Appropriations and Government Shutdown,” the SEC lays out with surprising candor the bare-bones framework…

SEC Takes Action to Curb Skyrocketing Costs of Consolidated Audit Trail

The CAT, mandated by Rule 613 of Regulation NMS following the 2010 Flash Crash, was intended to enhance market surveillance by creating…

Restricted Stock Q&A — 2025 Edition

Prepared by Hamilton & Associates Law Group, P.A. www.securitieslawyer101.com Introduction Restricted and control securities are common in private placements, employee compensation, and…

Rule 144 Resales of Restricted Securities of Shell Companies and Former Shell Companies

Rule 144(i): The Restriction on Shell Company Resales - What Stockholders and Issuers need to know.

Selling Private Placement Shares on Forge Global, Nasdaq Private Market, or Illiquidx

Company shareholders, whether employees, founders, or early investors, are increasingly looking to secondary marketplaces like Forge Global, Nasdaq Private Market (NPM), and…

SEC Trading Suspensions of QMMM, SDM – New SEC Cross-Border Task Force

On September 29, 2025, the U.S. Securities and Exchange Commission (SEC) issued back-to-back trading suspensions for two foreign issuers listed on the…

Bollinger Innovations: The Curious Case of the Disappearing Investor

Yesterday, Bollinger Innovations Inc. (BINI) (formerly Mullen Automotive, Inc. (MULN)) announced a 1:250 reverse stock split, effective Monday, September 22, 2025, in…

What Does It Mean to Be an “Affiliate”?

In securities law, determining whether someone is an affiliate can impact everything from the resale of shares to a company’s qualification for…

Rule 144 and 145: The SEC’s Favorite Party Poopers

When it comes to the resale of securities, few areas of securities law generate as much scrutiny as those involving shell companies.…

Trump Says No More Nasty 10-Qs — Make SEC Reporting Great Again

President Donald Trump has revived an idea he first floated during his earlier administration: doing away with quarterly reporting requirements for U.S.…

Direct Public Offerings in 2025

A Direct Public Offering (DPO) is an effective method for going public. Private companies may also raise capital by selling securities directly…

Nasdaq Proposes Tougher Listing Standards

On September 3, 2025, Nasdaq unveiled proposed updates to its listing standards, designed to strengthen investor protections and enhance market integrity. The…

Navigating Periodic Reporting for U.S. Public Companies

As a public company in the U.S., staying on top of your SEC reporting obligations under the Securities Exchange Act of 1934…

Hedge Funds Just Won a Key Review of the SEC’s Short-Sale Disclosure Rule. Here’s What It Means.

A federal appeals court has ordered the Securities and Exchange Commission to take a fresh look at the economic impact of its…

Navigating Audit Committee Requirements

For public companies in the U.S., the audit committee plays a critical role in maintaining investor confidence and ensuring accountability. Audit committees…

Navigating Florida’s Revamped Securities Laws

In 2023 and 2024, Florida lawmakers overhauled Chapter 517, the Florida Securities and Investor Protection Act, ushering in a new era for…

NASDAQ’s 20% Rule – Consideration When Going Public

When a company goes public on the Nasdaq Stock Market, it must comply with various requirements, including obtaining stockholder approval for certain…

Understanding the SEC’s Concept Release on the Definition of a Foreign Private Issuer

In a recent move, the U.S. Securities and Exchange Commission (SEC) issued a concept release examining the definition of a Foreign Private Issuer. This step…

Navigating Corporate Governance: Requirements for Nasdaq and NYSE Companies

If you're eyeing a listing on the New York Stock Exchange (NYSE) or Nasdaq Stock Market (Nasdaq), you'll need to align your…

Navigating SEC Disclosures: Director and Executive Officer Information

Item 401 of Regulation S-K requires that companies make certain disclosures about their directors, executive officers, and nominees. This information helps shareholders…

Navigating SEC Form 6-K

For foreign private issuers (FPIs) listed in the United States, staying compliant with U.S. Securities and Exchange Commission (SEC) regulations is a…

Navigating the Nasdaq Listing Process

Listing on Nasdaq is a major milestone for companies aiming to go public, offering access to global capital markets and increased visibility.…

NASDAQ Listing Process and Documentation

The NASDAQ listing process involves several steps and requirements for companies seeking to list their securities on one of NASDAQ’s three market…

NASDAQ Corporate Governance Requirements for Foreign Private Issuers

Public companies that are foreign private issuers listed on the Nasdaq Stock Exchange are subject to specific corporate governance requirements, which are…

The Impact of Social Media on Market Manipulation

Social media has transformed the way information spreads, connecting billions of users instantly. While this connectivity fosters communication and engagement, it also…

Regulation of Financial Influencers: Navigating Securities Law Violations and SEC Enforcement

In the age of social media, financial influencers, or “finfluencers,” have become powerful voices in shaping investment decisions. With large followings on…

SEC Axes NYSE and NASDAQ Diversity and Climate Change Disclosures

In recent months, Nasdaq Stock Market LLC (“Nasdaq”) diversity rules and Securities and Exchange Commission (“SEC”) climate disclosures for public companies have…

SEC charges William A. Justice, Brian D. Shibley, Randell R. Torno, and Keith A. Rosenbaum for their roles in the Phillip Verges $112 million pump-and-dump scheme

On July 1, 2025, the Securities and Exchange Commission (“SEC“) charged William A. Justice, Brian D. Shibley, and Randell R. Torno, each…

Explore our curated collection of external resources and industry links that complement our blog content. These hand-picked links provide additional perspectives on securities law, market regulations, and business compliance.

FINRA

https://www.finra.org/

JOBS Act 101

https://www.jobsact101.com/

Go Public 101

https://www.gopublic101.com/

OTC Markets

https://www.otcmarkets.com/

Securities Lawyer 101 Blog

https://ppe.securitieslawyer101.com/blog/

Securities & Exchange Commission

https://www.sec.gov/